SEC Form 4 · accession 0001302215-16-000033
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Irwin Gold
Officer — EXECUTIVE CHAIRMAN · Director · 10% Owner
Period of report
Apr 30, 2016
Accepted (ET)
May 3, 2016 · 9:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001302215
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| CLASS B COMMON STOCKF2,F1 | — | Apr 30, 2016 | A | 26,749 | A | — | — | CLASS A COMMON STOCK | 26,749 | 26,749 | D |
| CLASS B COMMON STOCKF3,F4,F1 | — | Apr 30, 2016 | Z | 26,749 | D | — | — | CLASS A COMMON STOCK | 26,749 | 1,704,203 | I |
Explanation of responses
- F1Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date.
- F2On April 30, 2016, the Issuer granted 26,749 shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which shares vest in four equal annual installments following the grant date.
- F3Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.
- F4The reporting person is a trustee of the Voting Trust. The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein.